DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••••• A•• C••••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Jul 5, 2019 · 20 filings
SEC status approved since Aug 2, 2019
RAUM
$447M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
99%
$444M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$447M as of Mar 17, 2026
Mar 12, 2020$145M then
HNW client RAUM$402M as of Mar 17, 2026
Mar 12, 2020$135M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 12, 20202 then
Employees (5.A)5 as of Mar 17, 2026
Mar 12, 20204 then
Private funds: no history
RAUM +43% over the last fiscal year+27% a year over threeIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $681,374derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $93.3M, 58 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$402M90%
- Individuals$41.7M9.3%
- Charitable organizations$2.1M0.5%
- Pension and profit-sharing plans$1.1M0.2%
- Individual clients
- 133reported
- HNW clients
- 132reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $93.3M for 58 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• S••• S•••••••••Certified Financial Planner, Chartered Financial Analyst | San Clemente, Ca | May 22, 2014 | 13 y | 1 |
| B•••••• S•••••••••Certified Financial Planner | San Clemente, Ca | Aug 21, 2019 | 41 y | 1 |
| C••••• C••••••••• Z••••Certified Financial Planner | San Clemente, Ca | Apr 21, 2025 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••• C••••••••• Z•••• from A••••••••• I•••Apr 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••••• S••••••••• from G••••• I••••••••• S••••••••• L••Aug 21, 2019 · Other
- R•••• S••• S••••••••• from M••••• S••••••May 22, 2014 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• B•••••• · President/Ccocontrolsince 01/2016 · owns less than 5%
- S••••••••• R••••• S••• · Shareholder/Chief Financial Officercontrolsince 01/2016 · owns 10% to 25%
- S••••••••• B•••••• · Trusteecontrolsince 07/1998 · owns F of B•••••• A•• T••••• A•• S••••••••• T•••• D•••• 7••••••
- S••••••••• T••••• · Trusteecontrolsince 07/1998 · owns F of B•••••• A•• T••••• A•• S••••••••• T•••• D•••• 7••••••
- S••••••••• B•••••• J• · Trusteesince 03/2022 · owns F of T•• H•••••• S••••••••• T•••• D•• 5•••••• F•• B••••• J• S•••••••••
Entity owners
- B•••••• A•• T••••• A•• S••••••••• T•••• D•••• 7•••••• · Shareholderdirect · owns 75% or more
- T•• H•••••• S••••••••• T•••• D•• 5•••••• F•• B••••• J• S••••••••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Clemente, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 17, 2026RAUM per registered advisor of $148,993,768 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
- RAUM up 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $311,784,935 to $446,981,303 (+43.0%) between the annual amendments of 2025-03-03 and 2026-03-17; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
- business activity changedChange between filings · filing Mar 17, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-03, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Mar 17, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-03, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- State-registered IARs · 2 to 3Mar 3, 2025 to Mar 17, 2026
- Accounts · 543 to 656Mar 3, 2025 to Mar 17, 2026
- Advisory employees · 2 to 3Mar 3, 2025 to Mar 17, 2026
- Advisory activities · 3 to 4Mar 3, 2025 to Mar 17, 2026
- HNW clients · 121 to 132Mar 3, 2025 to Mar 17, 2026
- Individual clients · 115 to 133Mar 3, 2025 to Mar 17, 2026
- Assets in custody · unset to 93341937.0Mar 3, 2025 to Mar 17, 2026
- Custody of client assets · false to trueMar 3, 2025 to Mar 17, 2026
- Employees · 4 to 5Mar 3, 2025 to Mar 17, 2026
- Financial planning clients · 51-100 to 101-250Mar 3, 2025 to Mar 17, 2026
- Other offices · 0 to 1Mar 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $246M to $353MMar 3, 2025 to Mar 17, 2026
- HNW RAUM · $280M to $402MMar 3, 2025 to Mar 17, 2026
- Individual RAUM · $29.1M to $41.7MMar 3, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $65.6M to $93.6MMar 3, 2025 to Mar 17, 2026
- Pension RAUM · $840,304 to $1.1MMar 3, 2025 to Mar 17, 2026
- RAUM · $312M to $447MMar 3, 2025 to Mar 17, 2026
- Accounts · 494 to 543Dec 26, 2024 to Mar 3, 2025
- Advisory activities · 4 to 3Dec 26, 2024 to Mar 3, 2025
- HNW clients · 110 to 121Dec 26, 2024 to Mar 3, 2025
- Individual clients · 113 to 115Dec 26, 2024 to Mar 3, 2025
- Financial planning clients · 51-100 to 51-100Dec 26, 2024 to Mar 3, 2025
- Discretionary RAUM · $198M to $246MDec 26, 2024 to Mar 3, 2025
- HNW RAUM · $229M to $280MDec 26, 2024 to Mar 3, 2025
- Individual RAUM · $31.4M to $29.1MDec 26, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $68.4M to $65.6MDec 26, 2024 to Mar 3, 2025
- Pension RAUM · $4.5M to $840,304Dec 26, 2024 to Mar 3, 2025
- RAUM · $266M to $312MDec 26, 2024 to Mar 3, 2025
- Accounts · 465 to 494Sep 8, 2023 to Mar 13, 2024
- HNW clients · 105 to 110Sep 8, 2023 to Mar 13, 2024
- Individual clients · 109 to 113Sep 8, 2023 to Mar 13, 2024
- Pension plan clients · 6.0 to unsetSep 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $146M to $198MSep 8, 2023 to Mar 13, 2024
- HNW RAUM · $187M to $229MSep 8, 2023 to Mar 13, 2024
- Individual RAUM · $23.8M to $31.4MSep 8, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $70.4M to $68.4MSep 8, 2023 to Mar 13, 2024
- Pension RAUM · $4.3M to $4.5MSep 8, 2023 to Mar 13, 2024
- RAUM · $216M to $266MSep 8, 2023 to Mar 13, 2024
- Accounts · 422 to 465Apr 28, 2022 to Feb 23, 2023
- HNW clients · 96 to 105Apr 28, 2022 to Feb 23, 2023
Signals
2 dated events
- S••••••••• A•• C••••••• I••• reported RAUM $447.0M, up 43% from $311.8M (2025-03-03 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- S••••••••• A•• C••••••• I••• filed its initial SEC registration (Form ADV)Jul 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- clientservices@stephensonfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-369-2527reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-727-4255reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/stephenson-&-companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- stephensonfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-727-4255reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- stephensonfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- stephensonfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026